Presented at RELAW 2015 http://dx.doi.org/10.1109/RELAW.2015.7330206

1. Terminology Matching of
Requirements Specification
Documents and Regulations
for Compliance Checking
Tokyo Institute of Technology, Japan
Ryotaro Nakamura,Yu Negishi,
Shinpei Hayashi, and Motoshi Saeki
1

2. 2
Goal: Regulation-Compliant
Requirements Elicitation
 Many regulations, laws, rules, etc. to follow
 How to obtain requirements compliant to
regulations?
☞Verification &Validation to check compliance
after/during eliciting requirements

3. 3
Our Approach:
Systematic Checking
 Formal and iterative ways to improve
compliance!
Requirements
Specification
Regulation
Regulation
Regulation
Regulation
Systematic check
of compliance
Feedback

4. Compliance Checking
w/ Model Checker [Saeki 09]
4
RegulationRegulationRegulation
Regulation
Compliance checking using
Model Checker
Feedback
Actor
UC1
S1 S2
State transition diag.
Use case desc.
Logical formula
Requirements Specification
p → AF q

5. Regulation
[Act on the Protection of Personal Information]
Use case description
Terminology Matching
5
...
3. The system gets from
a customer her address.
...
6. The system notifies the
purpose of utilization
to the customer.
When having acquired personal
information, a business operator
handling personal information
shall, ..., promptly notify the
person of the Purpose of
Utilization or publicly announce
the Purpose of Utilization.
How to associate these sentences?

6. Regulation
[Act on the Protection of Personal Information]Use case description
6
Case Grammar Approach
 Requires semantic relationship of words
6
3. The system gets from
a customer her address
When having acquired personal
information, a business operator
handling personal information shall, ...
(Get,
actor: System,
object: Address,
source: Customer)
(Acquire,
actor: Business operator,
object: Personal information,
source: Person)

7. Dictionaries
Overview of OurTechnique
7
State transition
model
Use case
desc.
Case frames
w/ concepts
Sentences
in case
frame form
Properties
concept
hierarchy
: :
Case
frames
Regulations
Detecting
concepts
Generating
props.
Words
Model
checker
1st step 2nd step
Checking
consistency

8. Step 1: Detecting Concepts
8
verb actor object source
Learn Human |
Organization
Habit |
Studies
Human |
Organization
verb actor object source
Acquire Human |
Organization
Thing Human |
Organization
Dictionary of Case Frames
“The system gets from the
customer her address”
Case Structure
verb actor object source
Get System Address Customer
P
System Address Customer
Customer
HumanThing
Address
Dictionary of
Hierarchical Concepts
Get
Acquire
Learn
Term
Personal
information Person
✘
✔
Institution
Organization
Business
operator

9. Step 2: Instantiating
PropertyTemplate
9
(Acquire, ...)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...))
verb actor object source
Get System Address Customer
Case frame from RD
Template
Instantiate every
possible candidates
(Get, System,Address, Customer)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...)
(Get, System,Address, Customer)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...))
(Get, System,Address, Customer)
∧ ¬ (Announce, ...)
→ AF ((Notify, ...) ∨ (Announce, ...))

10. 10
Implementation
 Components
– Cabocha (Japanese lexical and dep. analyzer)
– NuSMV (Model checker)
– Dictionary: EDR Japanese dictionary
# words # concepts # frames
From EDR dic. 270000 410000 13000
Newly added by us 61 59 10

11. 11
Case Studies and Acts
 Case 1: Online shopping (like Amazon)
– Act on Protection of Personal Information
• Article 18
– Act on Regulation of Transmission of Specified
Electronic Mail
• Article 3
– Act on Specified Commercial Transactions
• Articles 11 and 13
 Case 2: Pet Store
– Act on Welfare and Management of Animals
• Articles 21 and 22

12. 12
Case 1: Online Shopping
 Including 16 use cases
Show Change password
Send an ad-mail
Reject receiving
ad-mails
Confirm privacy
policy
Remove an item
from the cart
Open the items
of the cart
<<include>>
Sign up
Customer Admin
Log out
Delete account
Display the
detail of an item
Add an item to
the cart
<<include>>
Open search
page
<<include>>
<<include>>
Log in
<<include>>
Check out
Accept receiving
ad-mails
<<include>>
Open account
setting page

13. 13
Case 1: Results
 Precision: 0.50 (4/8)
 Recall: 0.66 (4/6)
 Reason of failures:
– Structural differences of case frames
• “System receives payment” vs.“System approves payment”
– Regardless of relationships between formulas

14. 14
Case 2: Pet Store
 Confirmed violation by comparing the results
– Operator shall show a buyer the cats/dogs that she
likes to by directly in advance
Reserve an appointment
to see cats/dogs
Register
animals
Show
cats/dogs
suggested to add

15. 15
Concluding Remarks
 Conclusion
– A technique to support matching the words in a RD
and regulations for checking the consistency
– Word matching based on the concept hierarchy
– Confirmed the feasibility
 Future work
– Improving accuracy of matching
– Larger case studies